Morning Memo
Wealth Management Morning Memo

FEBRUARY 28, 2020

INDUSTRY

SEC Hits Wells Fargo With $35 Million Penalty Tied to Inverse ETF

The Commission said Wells Fargo failed to properly train and oversee brokers and advisors who didn't understand the ETF was not designed for long term buy-and-hold investors.

FULL ARTICLE

Advertisement

REGULATION AND COMPLIANCE

Iowa Proposes Best Interest Standard for Annuities Sales

The proposed regulation follows the National Association of Insurance Commissioners' vote approving a model regulation for states to emulate.

FULL ARTICLE

SPONSORED CONTENT

Time Tested Solutions for Every Factor

Why aligning systematic exposure using price-to-sale ratios may create optimal exposure, particularly in uncertain markets.

FULL ARTICLE

BUSINESS PLANNING

Is it Time to Hire?

Here are a few tell-tale signs it may be time to bring in someone new.

FULL ARTICLE

SPONSORED CONTENT

2020 Investment Outlook: The World's Next Big Digital Platform

As the digitization of India progresses, we believe it may be the most interesting investable trend in 2020.

DOWNLOAD WHITE PAPER

The Daily Brief

PEOPLE

SEC: Steven Seagal Failed to Disclose Bitcoin Compensation

The famous actor touted an initial coin offering from Bitcoiin2Gen in social media postings without telling followers that he was being compensated for his endorsement, according to the SEC.

FULL ARTICLE

PEOPLE

SEC Charges Atlanta Advisor With Swindling Members of His Church

The SEC charged advisor Dionne Van Zyl with using his senior status in an Atlanta church to con fellow church members.

FULL ARTICLE

SPONSORED WEBINAR

Helping Clients Meet Liquidity Needs Without Disrupting Investment Strategies

Learn how SBLOCs can help clients meet immediate liquidity needs while staying invested; managing both sides of the balance sheet positions advisors as a comprehensive wealth management solutions provider and how SBLOCs can be economically advantageous for clients when market returns and tax liabilities are greater than interest.

March 10, 2020 | 4:15 pm ET

REGISTER NOW

TECHNOLOGY

Twenty Over Ten Announces Riskalyze Integration

Segment clients by risk metric and create a marketing campaign specifically for them? Say no more, says Twenty Over Ten and Riskalyze.

FULL ARTICLE

READ MORE OF THE DAILY BRIEF